RR
Richard S. Reid
WELLS FARGO SECURITIES
New York, NY 10017
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CRD#: 5571703
RR
Professional summary
Richard Samuel Reid, who also goes by Richard Samuel Reid, Sam Reid, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2009. Richard has worked at 3 firms and has passed the Series 63, Series 57TO, Series 82TO, Series 52TO, Series 99TO, Series 22TO, Series 6TO, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard Samuel Reid | Sam Reid
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Richard Samuel Reid's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 12, 2022 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 150 East 42nd Street, New York, NY 10017BD
CRD#: 126292
New York, NY
Past
January 10, 2020 - April 12, 2022
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
November 19, 2015 - December 19, 2019
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
New York, NY
Past
August 25, 2009 - August 25, 2015
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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Alabama(5/12/2022)
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Alaska(5/12/2022)
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Arizona(5/12/2022)
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Arkansas(5/12/2022)
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California(5/12/2022)
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Colorado(5/12/2022)
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Connecticut(5/12/2022)
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Delaware(5/12/2022)
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District of Columbia(5/12/2022)
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Florida(5/12/2022)
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Georgia(5/12/2022)
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Hawaii(5/12/2022)
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Idaho(5/12/2022)
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Illinois(5/12/2022)
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Indiana(5/12/2022)
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Iowa(5/12/2022)
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Kansas(5/12/2022)
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Kentucky(5/12/2022)
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Louisiana(5/12/2022)
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Maine(5/12/2022)
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Maryland(5/12/2022)
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Massachusetts(5/12/2022)
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Michigan(5/12/2022)
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Minnesota(5/12/2022)
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Mississippi(5/12/2022)
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Missouri(5/12/2022)
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Montana(5/12/2022)
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Nebraska(5/12/2022)
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Nevada(5/12/2022)
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New Hampshire(5/12/2022)
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New Jersey(5/12/2022)
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New Mexico(5/12/2022)
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New York(5/12/2022)
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North Carolina(5/12/2022)
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North Dakota(5/12/2022)
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Ohio(5/12/2022)
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Oklahoma(5/12/2022)
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Oregon(5/12/2022)
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Pennsylvania(5/12/2022)
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Puerto Rico(5/12/2022)
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Rhode Island(5/12/2022)
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South Carolina(5/12/2022)
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South Dakota(5/12/2022)
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Tennessee(5/12/2022)
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Texas(5/12/2022)
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Utah(5/12/2022)
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Vermont(5/12/2022)
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Virgin Islands(5/12/2022)
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Virginia(5/12/2022)
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Washington(5/12/2022)
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West Virginia(5/12/2022)
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Wisconsin(5/12/2022)
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Wyoming(5/12/2022)
Exams
State Security Law Exam
General Industry/Product Exam
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Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
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Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
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Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
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Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
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Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
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Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
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BOX Exchange LLC
SRO Registrations
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Cboe BYX Exchange, Inc.
SRO Registrations
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Cboe BZX Exchange, Inc.
SRO Registrations
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Cboe C2 Exchange, Inc.
SRO Registrations
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Cboe EDGA Exchange, Inc.
SRO Registrations
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Cboe EDGX Exchange, Inc.
SRO Registrations
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Cboe Exchange, Inc.
SRO Registrations
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FINRA
SRO Registrations
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Investors' Exchange LLC
SRO Registrations
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Long-Term Stock Exchange, Inc.
SRO Registrations
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MEMX LLC
SRO Registrations
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MIAX Emerald, LLC
SRO Registrations
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MIAX PEARL, LLC
SRO Registrations
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MIAX Sapphire
SRO Registrations
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Miami International Securities Exchange, LLC
SRO Registrations
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NYSE American LLC
SRO Registrations
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NYSE Arca, Inc.
SRO Registrations
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NYSE National, Inc.
SRO Registrations
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NYSE Texas, Inc.
SRO Registrations
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Nasdaq BX, Inc.
SRO Registrations
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Nasdaq GEMX, LLC
SRO Registrations
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Nasdaq ISE, LLC
SRO Registrations
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Nasdaq MRX, LLC
SRO Registrations
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Nasdaq PHLX LLC
SRO Registrations
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Nasdaq Stock Market
SRO Registrations
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New York Stock Exchange
Current Firm
WF
WELLS FARGO SECURITIES, LLC
WACHOVIA CAPITAL MARKETS, LLC | WELLS FARGO SECURITIES, LLC | WELLS FARGO SECURITIES | WELLS FARGO CORPORATE AND/& INVESTMENT BANKING | WACHOVIA CORPORATE & INVESTMENT BANKING, LLC
CRD#: 126292 / SEC#: , 8-65876
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
550 South Tryon Street 6th Floor D1086-060, Charlotte, NC, 28202
Mailing Address
1 N Jefferson Ave H0004-063, St. Louis, MO 63103
Phone number
(314) 875-3286
Established
Delaware since 03/05/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
